Joint Research Office
Office Location:
st
1 Floor Maple House
149 Tottenham Court Road
London W1T 7DN
Postal Address:
UCL,
Gower Street
London WC1E 6BT
Tel No. 0845 1555 000
Web-sites: www.uclh.nhs.uk; www.ucl.ac.uk/jro
JRO RMG RSS SOP 12
Standard Operating Procedure (SOP) for Study
Closedown and Archiving – Royal Free site specific
SOP
SOP ID Number
JRO RMG RSS SOP-13Royal Free
Version Number
v.2
Effective Date
31/08/2012
Review Date
31/08/2014
Daniel Heather, R&D Archivist and Records Manager
Author:
Name and Job Title
Approved by
Date:
Dr Susan Kerrison, Head of Risk and Regulation
31/08/2012
Target Trusts
Royal Free London NHS Foundation Trust
Target Audience
All Investigators, Research Nurses and Data Managers involved
in archiving research records based at The Royal Free
Related SOPs
JRO RMG RSS SOP 13 Site File
SOP e-Document kept: G: RESEARCH: RM&G SOPs: SOP on SOPs v1 and S:
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Revision Chronology
Previous SOP ID Number
Effective
Date
Reasons for Change

JBRU/RFH/INV/SOP-2
Version 1
25/08/2011

Significant change in
archiving strategy for The
Royal Free
Change in SOP layout/
harmonization with RMG
RSS SOP series
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Author
Daniel
Heather
Joint Research Office
Standard Operating Procedure (SOP) for Closedown and Archiving
of Studies at The Royal Free London NHS Foundation Trust
1. SUMMARY
This SOP describes the procedures surrounding trial completion, end of trial reporting
requirements and preparation for trial close out prior to archiving. It also includes guidance
on the physical preparation of the records for archiving, relevant legislation and best practice
and long-term storage solutions used by The Royal Free London NHS Foundation Trust.
2. DEFINITIONS
No SOP specific definitions
3. PURPOSE and SCOPE
This SOP forms part of the suite of SOPs which will implement the NIHR Research Support
Framework. This SOP describes the procedure for archiving investigator site documentation
produced as a result of clinical research hosted at The Royal Free London NHS Foundation
Trust. It is applicable to both CTIMPs (Clinical Trials of Investigative Medicinal products) and
non-CTIMPs (e.g. research administering questionnaires, research limited to working with
tissue samples, imaging studies etc).
Trial records must be kept so that the data can be accessed after the trial has finished.
It is a requirement that all clinical trial information should be recorded, handled and stored in
a way that allows its accurate reporting, interpretation and verification. Essential documents
need to be archived in a way that ensures they are readily available to the competent
authorities, and are stored in accordance with the requirements of the Data Protection Act
1998, the Freedom of Information Act 2000 and the UK Clinical Trial Regulations.
This SOP does not apply to the archiving of the main patient health record and other records
designated as source documents. These should be managed via The Royal Free’s
centralised Health Records System. More details are available via the Royal Free’s intranet
site (see the section on Medical Records)
4. RELATED SOPs
JRO RMG RSS 13 Preparation of Site File
5. JOINT RESEARCH OFFICE (JRO) POLICY
All SOPs produced from the JRO must be used in conjunction with local NHS Trust and UCL
policies and procedures. Where applicable there is also a requirement to include
stakeholder engagement as appropriately identified.
The JRO represents both UCL, UCLH and RF as the Sponsor and UCLH and RF as
Participating Sites, depending on the type of research study. The JRO is responsible to
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ensure that appropriate research management and governance processes are in place. The
RM&G SOPs will provide a quality assurance system for these requirements.
6. BACKGROUND
This SOP complies with


RG framework Research Governance Framework for Health and Social Care 2005
(2nd Edition),
NIHR RSS framework
The following may be applicable to this SOP, depending on the type of research:

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Good Clinical Practice (GCP)
European Directives for CTIMPs as 2001/20/EC and 2005/20/EC (these Directives
were transposed into UK law as statutory instruments SI2004/1031, SI2006/1928)
and subsequent amendments incorporating elements of ICH GCP tripartite
guidelines (E6).
Human Tissue (Quality and Safety for Human Application) 2007
Medical Devices Regulations 2002
Ionising Radiation (Medical Exposure) Regulations 2000 (IRMER)
Human Tissue Act 2004
Data Protection Act 1998
Mental Capacity Act 2005
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7. RESPONSIBLE PERSONNEL AND THEIR DUTIES
Responsible person
1 CI, PI or designated
representative
2 R&D Archivist and Records
Manager
4 Sponsor
Summary of duties
To follow the requirements of this SOP when records
are ready to be archived.
Oversight of the archiving process for research
including providing training and guidance where
required.
To determine the retention period for investigator site
records and to provide financial assistance (where
applicable) to facilitate archiving. Additionally to
approve the destruction of records once the agreed
retention period has expired.
8. PROCEDURE
8.1 Closing the site
A site should be closed as soon as is practicable to do so. A site will be deemed to be
closed once all study-related activities at a site are reconciled or complete. It should be
ensured that:
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Investigator files should be reviewed and all essential documentation should be
located in the appropriate files.
All site data should be collected, entered and validated and all data queries resolved.
All finance matters are resolved and all site payments completed as agreed in the
study contracts/agreements/approvals.
All unused trial supplies are returned or destroyed according to the study protocol,
agreement and/or requirements of the Sponsor.
Unused IMPS are returned to the Sponsor or destroyed locally onsite (as prearranged in the study Contract/Agreement and/or other arrangements with Pharmacy
onsite). If IMP is destroyed onsite the destruction should be documented in the site
file.
Investigators should comply with the study publication policy, as outlined in either the
study protocol and/or study contracts/agreements.
8.2 Chief Investigator (CI) specific responsibilities
8.2.1 Notifying the REC
It is the responsibility of the CI, acting on behalf of the Sponsor, to notify the REC which
gave a favourable opinion of the research (the ‘main REC’) in writing of the conclusion or
early termination of a study using the appropriate form.
The relevant form is available at:
http://www.nres.nhs.uk/applications/after-ethical-review/endofstudy/
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You should send the appropriate form within 90 days of the end of the study, or within 15
days if the study is terminated early. If the study has been terminated early you should
provide reasons. More detailed information is available at the web address provided above.
In the case of CTIMPs it is the responsibility of the sponsor, or the (sponsor’s
representative) to notify the main REC of the end of trial.
The relevant form is available at:
http://www.nres.nhs.uk/applications/after-ethical-review/endofstudy/
8.2.2 Notifying the JRO
The JRO should be notified as soon as practicable that the research has ended.
8.2.3 Notifying the sponsor
The sponsor should be notified as soon as practicable that the research has ended.
8.3 Initiating Archiving
Once the conditions outlined above have been met research records should be archived at
the site as soon as it is viable to do so. Prior to commencing archiving the sponsor should
be notified and any final invoices should be raised.
Please note: In instances where the sponsor has provided their own designated archiving
SOP for the trial this will take precedence over this SOP.
8.3.1 Who is responsible for archiving the records?
The PI, or a member of their study team, and the JRO Archivist and Records Manager.
8.4 What records should be archived?
The minimum list of essential documents that must be retained at a site will differ depending
on the type of clinical research being conducted. Please see the JRO RSS RMG SOP 13
Site File. This contains lists of the minimum essential documents required for different
study types.
Only the Investigator Site File (ISF) and Case Report Forms (CRFs) should be transferred
offsite. Under no circumstances should patient notes/medical records or other source
documents leave The Royal Free site.
Consideration should be given to the following record types where applicable to the
research (e.g. CTIMPs)
8.4.1 Pharmacy Records
In instances where a pharmacy file has been generated (e.g. a CTIMP), the PI or delegated
Data Manager /Research Nurse should also inform Pharmacy when a trial is to be archived
so that Pharmacy can collate all relevant trial associated documents (dispensing logs,
destruction logs etc) and transfer these into the custody of the PI. These should then be
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archived alongside the investigator site documents unless Pharmacy decides to archive the
records using their own procedure (TSSOP/013A Procedure for Document Archiving).
8.4.2 Patient Hospital/Medical Notes
All trial patient hospital/medical notes should be clearly labelled to indicate that the patient
was involved in a clinical trial. Records should be retained in accordance with the maximum
period of time permitted by the hospital. After being appropriately labelled, the files should
be transferred back into The Royal Free’s centralised Health Records System. More details
are available via the Royal Free intranet site (see the section on Medical Records)
8.5 How should records be archived?
The PI or delegated member of their study team should consult the instructions given on the
Research Records Transfer Form (see Appendix 1). The instructions are repeated here
for convenience:
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The study team should contact the R&D Records Manager
(Daniel.heather@nhs.net) to request appropriate boxes before undertaking any
archiving. Records packed in boxes not supplied by R&D cannot be transferred
offsite.
The study team member should write a temporary running order (in pencil) on the
front of each box (1,2,3).
The study team member should put the records in the boxes. They should remove
papers from bulky ring-binders as these take up space. They should not place
additional boxes (e.g. magazine files) inside the boxes.
The study team member should list the box number, and contents of that box on the
Research Records Transfer Form (see Appendix 1). They should complete the
form in Microsoft Word format and email it as an attachment to
Daniel.heather@nhs.net
The R&D Records Manager will then liaise with the study team member to arrange a
collection date for the boxes. The Records Manager will visit prior to collection to
quality check a sample of the boxes and affix barcode references to all boxes.
Boxes will then be collected and stored via a commercial storage provider.
If records are subsequently required for audit or regulatory inspection, requests for
files should be sent to Daniel.heather@nhs.net
When records have exceeded their retention period (the period they are required to
be kept by law) the trial sponsor will be contacted to authorise destruction.
PLEASE NOTE: In some specific instances records may be transferred from The Royal
Free site to UCL Records Office for storage. If you are in any doubt please contact
Daniel.heather@nhs.net for clarification.
8.7 For how long should records be retained?
It is the responsibility of the sponsor to determine how long the investigator site should
retain their records (with reference to the minimum retention periods promulgated in the
statutory instrument and Directive 2003/63/EC). The minimum applicable retention period
should be stipulated in the site agreement or study protocol. In all instances the site will not
destroy records without receiving prior authorisation from the sponsor.
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9. IMPLEMENTATION & TRAINING
This SOP will be implemented according the procedure agreed by the Approvals
Development Group. It will also be disseminated via face-to-face training delivered to PIs,
Research Nurses and Data managers as appropriate. For ad-hoc training requests please
contact Daniel.Heather@nhs.net.
10. PUBLICATION & COMMUNICATION
This SOP is published on the JRO website: http://www.ucl.ac.uk/jro/ and can also be found
on the UCL S:drive, UCLH G:drive and Royal Free Z: drive.
11. REVIEW
SOPs will be reviewed every 2 years unless an earlier review is required.
12. REFERENCES
JRO Website
http://www.ucl.ac.uk/jro/
Research Governance Framework 2005 (2nd Edition)
http://www.dh.gov.uk/prod_consum_dh/groups/dh_digitalassets/@dh/@en/documents/digita
lasset/dh_4122427.pdf
NIHR RSS Framework (including Appendix 1 – Glossary of Terms and Acronyms)
http://www.nihr.ac.uk/systems/Pages/RSS_Documents.aspx
13. APPENDICES
Appendix 1 Research Records Transfer Form
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14. SIGNATURE PAGE
Author:
Name / Job Title
Daniel Heather, JRO Archivist and R&D Records Manager
Signature /
Date:
Reviewed by:
Name / Job Title
Dr Susan Kerrison, Head of Risk & Regulation
Signature /
Date:
Authorised by:
Name / Job Title
Dr Rajinder Sidhu, Deputy Director of Research Support Centre
Signature /
Date:
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Appendix 1
Joint Research Office
RESEARCH RECORDS TRANSFER FORM
INSTRUCTIONS
 Please contact the R&D Records Manager (Daniel.heather@nhs.net) to request appropriate
boxes before undertaking any archiving. Records packed in boxes not supplied by R&D
cannot be transferred offsite.
 Once you have the boxes write a temporary running order (in pencil) on the front of each box
(1,2,3). Do not write or stick anything else on the boxes
 Put the records in the boxes. Remove papers from bulky ring-binders as these take up space.
Do not place additional boxes (e.g. magazine files) inside the boxes.
 List the box number, and contents of that box on this form. Complete the form in Microsoft
Word format and email as an attachment to Daniel.heather@nhs.net
 The R&D Records Manager will then liaise with you to arrange a collection date for the
boxes. The Records Manager will visit prior to collection to quality check a sample of the
boxes.
PLEASE NOTE
 Only the Investigator Site File (ISF) and Case Report Forms (CRFs) should be transferred
offsite. Under no circumstances should patient notes/medical records or other source
documents leave The Royal Free site.
 Please ensure the ISF contains all records stipulated by the study sponsor as per their SOP.
In the absence of a sponsor SOP for the Site File please use the JRO SOP for preparation of
the Site File: https://www.ucl.ac.uk/jro/documents/JRO_SOP13_Preparation_of_Site_File.pdf
YOUR DETAILS
Details of depositor
Name of person transferring records
Title
Email and telephone number
Details of transfer
Number of boxes
Date form completed
Location to be collected from (please be as
specific as possible)
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Details of records
Box
Contents list. Please include:
number
a) Full title of study
(1,2,3
b) P.I. name
etc)
c) Sponsor name
d) Type of documents (e.g. Case Report Forms, Investigator Drug
Brochure, Protocol, Informed Consent Forms etc)
If all boxes contain files belonging to the same study only list a) b) and
c) once.
Please add more rows as required
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For R&D use
only – please
do not
complete
Acc. No:
IM Reference